Mr. Pat Thamma Mr. Pat Thamma, director of P.T. Research Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E

Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets

Pcl., and Mr. Kasin Suthammanas, CEO of FINNOMENA Mutual Fund Brokerage Securities Co., Ltd. The panel discussion was moderated by Dr. Charika Channuntapipat, Research Fellow, Business and Sustainable

person whom a securities offeror is able to demonstrate to the Office that such person is able to access and study information necessary for making decisions to invest in the offered securities by himself

demonstrate to the Office that such person is able to access and study information necessary for making decisions to invest in the offered securities by himself and the offer made to such person is not required

. specifying the source of data used in decision making, the study of analysis/research article, criteria in selecting the investment, fund manager’s rationale for deviating investment plan from the conclusion

: - Industry analysis: - Study and analysis of fundamental factors of the business to be invested. (3) Prescription of criteria for selecting an analysis/a research to support an investment decision. (4

Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the